SEC Clarifies When Using “Advisor/Adviser” Violates Regulation Best Interest

May 5, 2020

SEC Charges Former Merrill Lynch Registered Representative with Defrauding Investors

April 20, 2020

SEC Shares Details on Initial Examinations for Reg BI and Form CRS

April 8, 2020

SEC Further Extends Reporting and Proxy Deadlines, FINRA Postpones Arbitration Meetings

March 27, 2020

SEC Encourages Companies to Hold Virtual Annual Meetings, Announces Regulatory Relief

March 16, 2020

SEC Obtains Judgment Against Former Adviser Charged with Defrauding Retirees

February 21, 2020

SEC Charges Recidivist Investment Adviser with Defrauding Retirees

December 23, 2019

SEC Obtains Asset Freeze to Halt Alleged Reg D Offering Fraud

December 11, 2019

SEC Bars Former Broker for Oil and Gas Ponzi Scheme

December 3, 2019

Former NFL Player Found Guilty of $10 Million Fraud

November 18, 2019

SEC Charges California Contractor and CPA for Roles in $909 Million Ponzi Scheme

October 25, 2019

SEC Orders 17 Advisory Firms to Pay $10 Million to Investors over Mutual Fund Sales

October 1, 2019

SEC Obtains Emergency Asset Freeze and Charges Adviser with $100 Million Fraud

August 28, 2019

Cantor Fitzgerald and BMO Capital to Pay $4.5 Million for Improper Handling of ADRs

August 19, 2019

SEC Begins Administrative Proceedings Against Broker Sentenced to Five Years in $1.4 Million Fraud Case

August 12, 2019

SEC Obtains Final Judgments Against Founders of Real Estate Crowdfunding Portal

July 18, 2019

SEC and NASAA Issue Summary of Securities Laws Relating to Opportunity Zone Investments

July 16, 2019

SEC Bars Longtime MetLife Broker for Stealing from Clients’ Insurance Policies

July 15, 2019

SEC Enforcement Attorney Sworn in as Newest Commissioner

July 10, 2019

SEC Charges President of Oil and Gas Company for Misusing Retail Investor Funds

June 28, 2019